IPRC MUSANZE

Integrated Polytechnic Regional College

Basic Geotechnical Engineering

CODE :CSTGE701
Credit: 12
LEVEL :Y3 COT

TRAINER :Dr.Eng.Pierre Anthyme BAHATI

Phone: (250) 780015616

Email:[email protected]
 TABLE OF CONTENTS

1.0 INTRODUCTION

2.0 EXPLORATIONS

3.0 SOIL PROPERTIES

4.0 BEARING CAPACITY OF SHALLOW FOOTINGS

5.0 SETTLEMENT OF SHALLOW FOOTINGS

6.0 LATERAL EARTH PRESSURE

7.0 RETAINING WALLS

8.0 PILE FOUNDATIONS

1.0 INTRODUCTION
Geotechnical engineering is an interesting subject. Unlike many engineering disciplines,
it is not a pure science but rather it is an art form that requires both judgment and
experience to arrive at a satisfactory solution. Unlike steel or concrete for instance, soil is
quite different. Geotechnical engineers can arrive at different but equally satisfactory
design values even when given the same set of information. Acceptable solutions are
dependent upon many soil variables, methods used to predict the results and the
practitioner’s experience.
3.0 SOIL PROPERTIES
3.1 Introduction

Soils are sediments and other unconsolidated material comprised of solid particles
produced by disintegrations of rock and mixtures of such particles with organic
substances. A volume of soil also contains liquid and gasses filling the void between the
particles. Hence, a volume of soil is comprised of three phases: solid, liquid and gas.

3.2 Weight-Volume Relationship

Visualize for a moment a shovel full of soil. Likely, you will find solid particles such as
sand of various sizes with voids between the particles. The voids are filled with air and
quite possibly, some moisture. Imagine now that this sample is confined within a unit
volume and all the solid particles are compressed together without any voids between the
particles. Visualize that the water (moisture) contained in the sample collects on top of
the solids and the air rides at the very top of the volume. This describes the three-phase
diagram shown in Figure 3.1a. The diagram is presented in two dimensions rather than
three.

In each of the definitions discussed, refer to the diagram shown in Figure 3.1.

The weight relationship of the phases is shown on the right hand side of the diagram
while the volume relationship of the phases is shown on the left hand side of the diagram.
It is important to note that each of the three phases, solid, liquid and gas have a volume
but only solid and liquid have weight. Amongst geotechnical engineers, the gaseous state
(i.e. air) has no weight. We’re not picky about the molecular weight of air so in the grand
scheme of things, the weight of air is zero.

From the diagram shown in Figure 3.1a, it is evident that:

● W = total weight of the mass while Ws = the weight of the solid phase, and Ww =
the weight of the liquid (water) phase. Note that the total weight W is equal to
Ws + Ww.

● V = total volume of the mass while Vs = the volume of the solid phase, Vw = the
volume of the liquid (water) phase and Va = the volume of the gaseous (air)
phase. Note that the total volume V is equal to Vs + Vw + Va. From now on,
we’ll refer to liquid as water and gas as air.

The volume of water and the volume of air comprise the volume of voids between the
soil particles. The volume of the voids can be totally dry in which case there is no water
or it can be totally full of water in which case there is no air. Both water and air can also
be present in the volume of the voids. Note that the volume of voids Vv = Vw + Va.
 Figure 3.1 – Three Phase Diagram

The following definitions apply to soil.

3.2.1 Void Ratio

Void Ratio (e) = Vv / Vs (3.1)

Void ratio expresses the relationship between the volume of voids to the volume of solids
in a unit volume of material. For a given sample of soil, a dense material has a lower
void ratio than a loose material. When material is compacted in the field as part of
constructing engineered fill, there is a void ratio reduction. The solid particles are forced
closer together thus reducing the volume of the voids. For instance, when an 8-inch thick
layer of soil is compacted, it becomes less than 8 inches thick. The volume of the voids
is reduced by the compaction.

3.2.2 Porosity
Porosity (n) = (Vv / V) * 100 (3.2)

Porosity expresses the relationship between the volume of voids and the total volume.
The higher the porosity of a material, the more porous the material becomes. Note that a
soil with high porosity may not necessarily be highly pervious. Clay for instance has a
high porosity but low permeability. Porosity is expressed as a percent.

3.2.3 Degree of Saturation

Degree of Saturation (S) = (Vw / Vv) * 100 (3.3)

Degree of saturation expresses the relationship between the volume of water and the
volume of the voids. Saturation is expressed as a percent. As shown earlier, if all the
voids were filled with water, then Vw = Vv and S = 100%. The material would be fully
saturated.

3.2.4 Water Content

Water Content (Wc) = (Ww / Ws) * 100 (3.4)

Water content expresses the relationship between the weight of water in a given volume
of material to the weight of the solids contained in that same volume. Water content is
expressed as a percent.
3.2.5 Total Unit Weight

Unit Weight (γ) = W / V (3.5)

The unit weight relationship is the total unit weight of soil because it relates total weight
(Ws + Ww) with total volume (Vs + Vw + Va). Note, if the material is moist or
saturated, this would be the moist or saturated unit weight of soil.

3.2.6 Dry Unit Weight

Sometimes, it is important to know the dry unit weight of soil (γd), especially when
calculating the degree of compaction. The dry unit weight of soil is expressed as:

Dry Unit Weight (γd) = Ws / W (3.6)

During field control of compaction it is necessary to know the “degree of compaction”

attained. The inspector or engineer will calculate the in-place dry unit weight of soil
retrieved from the compacted fill and compare it to the theoretical maximum dry unit
weight of the material determined by laboratory testing.

3.2.7 Specific Gravity

Specific gravity is another value used in calculations.

The mass or apparent specific gravity (Gm) = W / (V * γw) (3.7)

 The specific gravity of the solids (Gs) = Ws / (Vs * γw) (3.8)

Note that γw is the unit weight of fresh water (i.e. 62.4 lb pcf).

From these relationships it is possible to make other engineering calculations. There are
other relationships that are not shown but they are all based on the fundamental
relationships discussed herein. Other relationships can be found in publications such as
DM-7 (see references).

Example 3.1

Refer to Figure 3.1b for an example calculation using the relationships expressed above.
The diagram shows that 43 pounds of material was retrieved from a hole that had a
volume of 0.41 cubic feet. The material was dried and reweighed. The dry weight (weight
of the solids Ws) is 40 pounds. From this information and using the relationships
expressed above or derived from the phase diagram calculate:

Total Unit Weight (γ) = W / V = 43 / 0.41 = 104.9 pcf

Dry Unit Weight (γd) = Ws / V = 40 / 0.41 = 97.6 pcf

Volume of Solids (Vs) = Ws / (γw * Gs) = 40 / (62.4 * 2.67) = 0.24 cf (from Eq. 3.8)

Weight of water (Ww) = W – Ws = 43 – 40 = 3 lb

Volume of Water (Vw) = Ww / δw = 3 / 62.4 = 0.05 cf

Volume of air (Va) = V – Vs – Vw = 0.41 – 0.24 – 0.05 = 0.12 cf

Volume of voids (Vv) = Vw + Va = 0.05 + 0.12 = 0.17 cf

Void ratio (e) = Vv / Vs = 0.17 / 0.24 = 0.71

Porosity (n) = Vv / V = 0.17 / 0.41 = 41.5%

Degree of Saturation (S) = Vw / Vv = .05 / 0.17 = 29.4%

Water content (Wc) = Ww / Ws = 3 / 40 = 7.5%

Example 3.2

Again, refer to Figure 3.1b for the relationships. Assume that the total unit weight of a sample of soil is
117 pcf. The material is 100 percent saturated and the water content is 41 percent. Calculate the void
ratio (e).

If the material is 100 percent saturated than all of the voids are filled with water and the volume of air
(Va) equals zero. Since the total unit weight is 117 pcf, the total weight
(W) = 117 pounds and the total volume (V) equals 1 cubic foot.

The water content is 41 percent; therefore Ww / Ws = 0.41 which becomes Ww = (Ws) (0.41)

The total weight (W) = Ww + Ws and by substitution for Ww, W = (Ws)(0.41) + Ws and W = Ws(1 +
0.41)

Solving for Ws where W = 117 pounds, Ws = 117 / 1.41 or 83 pounds. Therefore, Ww = 117 – 83 = 34
pounds

The soil is 100 percent saturated, Vv = Vw and Vw = Ww / (γw) = 34 / 62.4 = 0.54 cf Since V = Vs +

Vw, then Vs = V – Vw. Therefore, Vs = 1 – 0.54 = 0.46 cf

By definition, Void Ratio (e) = Vv / Vs = 0.54 / 0.46 = 1.17 There types

of calculations are used to derive soil values.

3.2.8 Atterberg Limits

Atterberg limits are a basic measure of the critical water contents of fine-grained soils, such as silt and clay, as
they transition from a solid to a liquid. Atterberg Limits are an inexpensive and well documented way of
predicting the engineering properties of silt and clay soils.
What does Atterberg limits tell us?

The Atterberg limit refers to the liquid limit and plastic limit of soil. These two limits are used internationally
for soil identification, classification, and strength correlations. When clay minerals are present in fine-grained
soil, the soil can be remolded in the presence of some moisture without crumbling.
 Fig: Chart showing consistency limit

2.3.1 Liquid Limit

It is the arbitrary water content between plastic and liquid phase of soil
It is the minimum water content in the soil where it behaves as a plastic material
It is the amount of water in the soil, where the soil contains least amount of shear strength.
2.3.2 Plastic Limit
It is the minimum water content in the soil at which a thread formed by rolling on a glass plate crumbles at 3 mm
diameter.
In other words, it is the arbitrary water content between plastic and semi solid state.
2.3.3 Shrinkage Limit
It is the maximum water content at which soil behaves as a solid material.
It is the maximum water content below which, decrease in water content results in no change of volume of soil.
In other words, it is the arbitrary water content between solid and semi solid phase of soil.

2.4 DETERMINATION OF LIQUID LIMIT

Casagrande’s Liquid Limit Apparatus, The following procedures are used
1. Take 120 g of air dried soil after passing through 425μ sieve.
2. Arbitrarily mix certain amount of water and make a paste.
3. Put the soil pat in the brass cup and make a V shaped groove using grooving tool.
4. Give blows at a speed of 2 rps., till the grove closes.
5. Count the number of blows at the end of experiment.
6. Take certain amount of soil from the cup to determine water content.
7. Take at least 5 number of trials with varying number of blows from 15 to 35 The
corresponding water content at 25th blow is taken as liquid limit

2.5 DETERMINATION OF PLASTIC LIMIT

Procedures to be taken
1. Take about 15 g of air dried soil after passing through 425μ sieve.
2. Arbitrarily mix certain amount of water and make soil ball.
3. Roll the soil ball on glass plate with palm.
4. Make thread till it attains a thickness of 3mm.
 5. If the thread crumbles at 3 mm thick, then take sample to determine water content.
6. Corresponding water content is taken as PLASTIC LIMIT.

2.6 DETERMINATION OF SHRINKAGE LIMIT

Procedure to determine Shrinkage Limit
1. Take about 30 g of air dried soil after passing through 425μ sieve in an evaporating dish.
2. Soil is mixed with sufficient quantity of water so that it may flow.
3. Fill the soil mix in dish and take the weight of dish.
4. The soil pat is allowed to dry in air till the colour of pat changes from dark to light.
5. The dish is then placed in oven at 110oc till it attains constant weight.

Apparatus required for Shrinkage Limit test

6. The shrinkage dish is weighed with the dry soil and dry weight of soil is determined.
7. The volume of dry soil pat is determined by mercury displacement method.
V1 = Volume of container in which plastic phase soil is filled initially.
W1 =Weight of wet soil sample along with container.
V2 = Volume of soil at shrinkage limit.
W2 =Weight of soil sample at shrinkage limit.
Vs=Weight of dry soil pat
γw= Unit weight of water
Shrinkage limit is nothing but water content at a particular case i.e, ws

𝑊𝑤
 𝑤𝑠 = × 100
𝑊
Weight of water at shrinkage limit is,
𝑊𝑤𝑠 = (𝑊1 − 𝑊2) − (𝑉1 − 𝑉2)

2.7 CONSISTENCY INDICES

2.7.1 Plasticity Index (Ip)
It is the range of water content in soil in during which soil behaves as a plastic material
Simply it is the difference in the water content at liquid limit and plastic limit
Highly plastic soils exhibit greater plasticity values

Plasticity Index 𝐼𝑃 = (𝑤𝑙 − 𝑤𝑝)-------------------- Eq.2.14

2.3.1 Shrinkage Index (Is)

It is the range of water content in soil in during which soil behaves as a semi solid material
Simply it is the difference in the water content at plastic limit and shrinkage limit

𝐼𝑠 = (𝑤𝑝 − 𝑤𝑠)----------------- Eq.2.15

Plasticity Index (Ip) Soil Description

0 Non Plastic
<7 Low plastic
7 – 17 Medium plastic
>17 Highly plastic

2.3.1 Flow Index

It is the slope of the flow curve obtained between the number of blows and water content in the
Casagrande’s test for the determination of liquid limit.
Flow index indicates the loss of shear strength of soil upon the increase of water. Greater the slope
angle less is the shear strength of soil.

(W 1 −W 2)
I F=
Flow index n Eq.2.16
log 10 2
n1
2.7.4 Consistency Index (Ic)
It is the ratio of the difference between the liquid limit and natural water content of soil to its
plasticity index. This is very important to attribute the soil property
(W l −W n )
Consistency Index I c =
Ip
Conditi Consisten Soil’s nature
on cy Index
If wl = wn Ic = 0 Soil is at liquid limit.
If wl < wn Ic = Negative Soil is in liquid state.
If wl > wn Ic = Positive Soil is either in solid or semi
solid state

2.3.1 Liquidity Index (IL)

It is the ratio of the difference between the natural water content of soil and its plastic limit to its
plasticity index.
Liquidity index varies from 0 to 1

Liquidity Index, IL =(𝑤𝑛−𝑤𝑝)------------------ Eq.2.18

𝐼𝑃
2.7.2 Toughness Index (IT)
It is the ratio of plasticity index to the flow index.
This gives an idea of shear strength of soil at plastic limit
Toughness Index, IT =𝐼𝑃-------------------------- Eq.2.19
𝐼𝐹

2.7.3 Density Index (ID)

It is the ratio of difference between the void ratio of a Cohesionless soil in the
loosest state and void ratio in its natural state to the difference between its void
ratios in the loosest and densest states.

Hence Density Index ID= (𝑒𝑚𝑎𝑥−𝑒𝑛𝑎𝑡)------------------------- Eq.2.20

(𝑒𝑚𝑎𝑥−𝑒𝑚𝑖𝑛)
The nature of soil can be predicted from Density Index value as given in table
 Density Index (ID) Soil Description
<15 Very loose 15 - 35 Loose
35 - 65 Medium 65- 85 Dense
>85 Very dense 5/
<15 Very loose 15 - 35 Loose
35 - 65 Medium 65- 85 Dense

3.2.9 Shear Strength

Shear Strength is a fundamental engineering property of soil and it is usually expressed

as:

S = c + σ tan(φ) (3.10)

Where S = shear strength

c = cohesion (property of cohesive soil)
σ = normal stress on shear plane (usually the effective weight of the soil
overburden above the shear plane)
φ = angle of internal friction of soil

For clay (cohesive soil) in undrained conditions, f = 0, thus S = c.

For sand (cohesionless soil), c = 0, thus S = σ tan(φ).

For a soil that exhibits both cohesion and friction, Equation 3.10 expresses the shear
strength.

4.0 BEARING CAPACITY OF SHALLOW FOOTINGS

4.1 Introduction

A foundation is that part of a structure which transmits a load directly into the underlying
soil. If the soil conditions immediately below the structure are sufficiently strong and
capable of supporting the required load, then shallow spread footings can be used to
transmit the load. On the other hand, if the soil conditions are weak, then piles or piers
are used to carry the loads into deeper, more suitable soil. Shallow footings are
foundations where the depth of the footing is generally less than the width (B) of the
footing.

Photograph 4.1 – Shallow Spread Footings

4.2 Modes of Failure

Generally three modes of failure have been identified:

● General Shear Failure: A continuous failure surface develops between the

edge of the footing and the ground surface. This type of failure is
characterized by heaving at the ground surface accompanied by tilting of
the footing. It occurs in soil of low compressibility such as dense sand or
stiff clay.
 ● Local Shear Failure: A condition where significant compression of the
soil occurs but only slight heave occurs at the ground surface. Tilting of
the foundation is not expected. This type of failure occurs in highly
compressible soil and the ultimate bearing capacity is not well defined.

● Punching Shear Failure: A condition that occurs where there is relatively

high compression of the soil underlying the footing with neither heaving at
the ground surface nor tilting of the foundation. Large settlement is
expected without a clearly defined ultimate bearing capacity. Punching
will occur in low compressible soil if the foundation is located at a
considerable depth below ground surface.

4.3 Bearing Capacity of Continuous Footings

First we will discuss calculating the bearing capacity for continuous footings using the
original equation developed for bearing capacity analysis and then we will expand this to
discuss other shapes and conditions.

The failure mechanism for a narrow, continuous footing (length is >> than width)
assumes that a wedge of soil below the footing is pushed downward by the applied load,
thereby displacing soil adjacent to the wedge both laterally and upward. The ultimate
bearing capacity therefore, is a function of the shear strength of the soil and the
magnitude of the overlying surcharge due to the depth of footing (D). The ultimate
bearing capacity (qu) of soil underlying a shallow strip footing can be calculated as:

qu = 1/2γΒΝγ + cΝc + γDNq (4.1)

● Nγ, Nc and Nq are bearing capacity factors that depend only upon the soil friction

angle (φ) as shown in Figure 4.1. The soil friction angle is commonly assigned by
using charts or tables that correlate the penetration resistance obtained during the
exploration program to the friction angle.

● The cohesion term “c” is obtained by laboratory or field-testing methods such as

using a Torvane. Correlations using SPT results are unreliable for assigning
cohesion.

● The unit weight of the soil (γ) is commonly based on a published correlation with
soil classification.

● The value “B” is the width of the footing and is the common symbol for the
 width.

● The value “D” is the depth of the footing below the lowest adjacent backfill. If
the footing is backfilled equally on each side, then D is the depth below grade. If
 the footing is backfilled unequally on each side as in a basement, then D is the
lesser measurement.

Figure 4.1 – Bearing Capacity Factors

Figure 4.2 – Depth of Footing

Expression (4.1) above shows that there are three components to bearing capacity.

● The first term (1/2γΒΝγ ) results from the soil unit weight below the footing.
 ● The second term (cΝc) results from the cohesive strength of the soil.

● The third term (γDNq) results from the surcharge pressure, which is the pressure
due to the weight of material between the surface and footing depth. This third
term has a significant influence on the calculated soil bearing capacity.

4.4 Modification for Shape

The original bearing capacity equation shown in Expression (4.1) applied to continuous
footings where the length (L) is very much greater than the width (B). Since many
footings however are square, rectangular or circular, the equation for a continuous footing
was modified to account for the shape of the footing. Semi-empirical shape factors have
been applied to each of the three components of the bearing capacity equation resulting in
the following modifications:

● Square Footing: qu = 0.4γΒΝγ + 1.2cΝc + γDNq

● Circular Footing: qu = 0.3γΒΝγ + 1.2cΝc + γDNq

● Rectangular Footing: qu =1/2(1 − 0.2B/L)γΒΝγ + 1.2cΝc + γDNq

In some publications, 1.3 replaces the factor 1.2.

4.5 General Bearing Capacity Equation

Later research improved the simple bearing capacity equations shown above by
introducing a correction factor for shape of footing with load eccentricity, depth of
footing, and inclination of load. Thus, the General Bearing Capacity Equation has
evolved as shown in Expression (4.2), which maintains the contribution from the three
components identified earlier and incorporates appropriate correction factors for each
term.

qu = 1/2γΒΝγ (FγsFγd Fγi) + cΝc(FcsFcdFci) + γDNq(FqsFqd Fqi) (4.2)

The factors beginning with “F” are the correction factors for depth (d), shape (s) and
inclination of load (i) applied to the original terms proposed in Expression (4.1).

Further refinements include correction factors for sloping ground and tilting of the
foundation base.

The ultimate bearing capacity obtained when using the General Bearing Capacity
Expression (4.2) give bearing pressures that are too large for footings having widths (B)
greater than approximately 6 feet. Accordingly, a correction factor can also be applied to
the first term of the General Bearing Capacity equation.
4.6 Factor of Safety

Unlike materials such as steel or concrete, there is no code that specifies the allowable
stress or factor of safety used in design. Soil has considerable variability and structures
have a multitude of uses and design life. Although the magnitude of the safety factor can
vary depending upon uncertainty and risk, a factor of safety of 3 is commonly used in
bearing capacity analysis for dead load plus maximum live load. However, when part of
the live load is temporary such as earthquake, wind, snow, etc. then the factor of safety
can be lower.

The gross allowable bearing pressure used for design is derived by dividing the ultimate
bearing capacity (qu) by the assigned factor of safety (FS).

qall = qu / FS (4.5)

Often the surcharge pressure resulting from the depth of footing (soil surcharge) is
subtracted yielding the net allowable bearing pressure.

qall(net) = (qu – γDf) / FS (4.6)

The factor of safety is applied to the bearing capacity at failure as presented in Criterion
1. Footings less than 3 feet wide are most affected by this condition. As the footing
becomes larger, the potential settlement of the footing plays a much greater role in
establishing the assigned allowable bearing pressure as presented by Criterion 2.
4.7 Other Considerations for Bearing Capacity

There are other considerations that the geotechnical engineer must consider when
deriving the bearing capacity of soils. Some of these considerations are outlined below:

● Footings with eccentric rather than concentric loads

● Depth of footings

● Bearing capacity of layered soils where a stronger soil is underlain by a weaker

soil

● Seismic bearing capacity of soil

● Bearing capacity of soil supporting machine foundations

● Foundations on or close to slopes

● Footings supported on soils that expand or shrink with changes in the moisture
content

4.8 Selection of Engineering Properties

The bearing capacity calculation is very sensitive to the values assumed for the shear
strength of soil, namely the friction angle (φ) and cohesion. This is especially true at the
higher values of friction angle. Therefore, careful consideration should be given to the
values selected to define the soil shear strength.

4.9 Important Points

Some important points to consider are:

● The foundation is that part of a structure which transmits the load directly into the
underlying soil.

● Shallow spread footings distribute the load over a wide area so that the bearing
pressure does not exceed the capacity of the soil to carry the load without
 objectionable settlement.

● Shallow footings are footings where the depth of the footing is generally less than
the width of the footing.
 ● If the capacity of the soil is insufficient, failure can occur as a sudden,
catastrophic movement or movement that is too great for the structure to
accommodate.

● Bearing capacity analysis seeks to prevent catastrophic movement and to limit

movement to within tolerable ranges for the structure.

● Explorations are conducted in order to present a picture of subsurface conditions,

including the nature of the material and the engineering properties. Often
correlations are used between test values obtained during the exploration program
and published engineering properties of the soil.

● Empirical relationships are often used to predict the bearing capacity of the soil
and the settlement potential.

● Given the same set of soil information, different engineers can arrive at different
but equally correct values for bearing capacity.

Example 4.1

Assume that a 4-foot square shallow spread footing is supported on sand at a depth of 4
feet below ground surface. The friction angle of the sand is 30 degrees, the unit weight of
soil is 120 pcf and cohesion is zero. The groundwater level can rise to the depth of the
bottom of the footing but no higher. The cumulative average standard penetration
resistance of the sand within a depth of 8 feet (2B) below the footing is 12 blows per foot.
Determine the allowable bearing capacity based on the shear strength of the soil and the
ability of the soil to resist the applied pressure.

● Select the ultimate bearing capacity expression for square footings:

qu = 0.4γΒΝγ + 1.2cΝc + γDNq

since cohesion = 0,

qu = 0.4γΒΝγ + γDNq

● For a friction angle of 30 degrees, determine the bearing capacity factors from

Figure 4.1. Nγ = 16 and Nq = 18

● The unit weight (γ) is given as 120 pcf. However, since the groundwater will rise

to the depth of the footing, use the submerged unit weight (γ − 62.4) in the first

term. Thus, γ’ = (120 – 62.4) = 57.6 pcf.

● The ultimate bearing capacity is:

qu = 0.4γΒΝγ + γDNq

qu = (0.4)(57.6)(4)(16) + (120)(4)(18) = 10115 psf (rounded)

● For a factor of safety of 3, the gross allowable bearing capacity is qa = qu / FS =

3372 psf

● The net allowable bearing capacity is qa(net) = (qu – γDf) / FS = 3212 psf

● Assume the groundwater level never rises above a depth of B below the footing.

qu = (0.4)(120)(4)(16) + (120)(4)(18) = 11712 psf (rounded)

 qa = 11712/3 = 3904 psf

This value is 532 psf higher and illustrates the effect of the groundwater on the calculated
theoretical bearing capacity. The bearing capacity is higher because the soil is not
affected by groundwater, and the total unit weight of soil (120 pcf) is used in term 1
rather than the submerged (buoyant) unit weight (57.6 pcf).
5.0 Settlement of Shallow Footings

5.1 Introduction

Settlement of footings must be considered as part of the foundation design process. For
shallow footings, after a bearing capacity analysis has estimated the allowable soil
pressure based upon shear strength consideration, settlement must be studied to refine
(and possibly further limit) the assigned bearing pressure. The soil design pressure and
footing geometry are checked to verify that settlement of the footing under the prescribed
load lies within tolerable ranges for the structure. Settlement must also be considered for
deep foundations.

The total settlement of a structure is not as much of a concern as the differential

settlement that occurs between adjacent columns and structural members. Differential
settlement between adjacent footings develops stresses in the structure causing damage.
Of course, if the predicted total settlement of a structure would affect underground
utilities, entryways, building elevations etc., then total settlement is also a concern.
Allowable bearing pressures are designed to limit total settlement and by so doing,
differential settlement between adjacent footings is also limited.
5.2 Components of Settlement

Settlement caused by a loading condition that increases the stress in the underlying soil
can be classified into two major components:

● Immediate settlement.

● Consolidation settlement.

Consolidation settlement can be further divided into:

● Primary consolidation

● Secondary consolidation.

5.3 Immediate settlement

Immediate settlement (elastic deformation) takes place during construction or shortly

thereafter and results from compression between the soil particles.

5.4 Primary Consolidation

Primary consolidation is a time-dependent phenomenon that occurs as water is squeezed

from the voids lying between the individual soil particles. The time required for primary
consolidation to occur is a function of how quickly the soil drains.

5.5 Secondary Consolidation

Secondary consolidation occurs after primary consolidation has been completed. Unlike
primary consolidation, secondary consolidation does not depend upon drainage.
Secondary consolidation is caused by slippage and reorientation of soil particles (creep)
under constant load.

Each of the three components of settlement occurs to some degree in both coarse-grained
and fine-grained soil such as sand and clay respectively. Immediate settlement is most
often associated with granular, coarse-grained soil such as sand. Although consolidation
occurs in coarse-grained soil, it takes place very quickly because the material is relatively
pervious and drains quickly. Therefore consolidation is not usually distinguishable from
immediate settlement. Although secondary consolidations is thought not to occur in
coarse-grained soil, some researchers have identified additional movement (creep) that
occurs long after the load has been applied.

Primary consolidation and secondary consolidation are most often associated with fine-
grained material such as clay and organic soil. Immediate settlement occurs rapidly in
fine-grained material much more so than the time-dependent, long-term settlement
associated with primary and secondary consolidation. Primary consolidation is more
significant in clays while secondary consolidation is more significant in organic soil.

The total settlement that occurs below a footing is the sum of each of the three
components identified above:

S (total) = S (immediate) + S (primary) + S (secondary)

For coarse-grained soil, primary and secondary settlement is ignored.

5.6 Settlement of Footings Underlain by Sand

Settlement that occurs in coarse-grained soil (sand) is normally small and happens
relatively quickly. It is generally thought that little additional long-term movement
(creep) occurs after loading. However, some researchers propose that this might not be
entirely true.

Calculations performed to estimate settlement in coarse-grained material are usually

undertaken using empirical methods based on data obtained during the exploration
program. Since it is expensive and impractical to obtain “undisturbed” samples of coarse-
grained material for laboratory testing, predictions are based on field-testing methods
such as the standard penetration test (SPT), cone penetration test (CPT), dilatometer test
(DMT) and the pressuremeter test (PMT). Researchers have synthesized information
collected from testing programs and studies and have developed a number of empirical
relationships to estimate the settlement of footings underlain by granular soil.

Geotechnical engineers have used empirical approaches based on a large number of case
studies to estimate the settlement of coarse-grained soil under sustained load. Two
widely accepted methods employ the results obtained from the SPT and CPT. Equipment
used to make these tests are readily available and relatively inexpensive to employ. These
tests are routinely conducted during the site exploration program.

There are numerous empirical relationships available for predicting settlement. Some are
apparently better than others in predicting the actual settlement based on the results of
full-scale tests conducted on five shallow spread footings under various magnitudes of
load. Some of the conclusions derived from a symposium convened during the mid
1900s to evaluate the current industry and academic practice in spread footing design are
as follows:

● No participant who provided a calculated prediction of settlement gave a

complete set of answers, which consistently fell within plus or minus 20% of
the measured footing settlement.

● The load required to produce 1 inch of settlement was underestimated by 27%

on average. The predicted load was on the safe side 80% of the time.
 ● A large variety of methods were used to calculate settlement and it was not
possible to identify the most accurate method because most participants used
published methods modified by their own experience or used a combination of
methods.

● The profession tends to be over-conservative.

One (of many) empirical methods for predicting the settlement of shallow footings
underlain by sand is illustrated below as an example. Researchers based this method on a
statistical analysis of over 200 settlement records of foundations supported on sand and
gravel. The expression shows a relationship between the compressibility of the soil,
footing width and the average value of the penetration resistance derived from the SPT
and uncorrected for overburden pressure.

The immediate settlement prediction for sand is:

Si = qB0.7Ic (5.1)
Where:

● Ic = 1.71/N1.4 and N is the Standard

Penetration Resistance derived from
the soil test boring exploration
program.

● Si is expressed in millimeters

● B (footing width) in meters

● q (foundation pressure) in kPa

A modification can be made to this equation if the sand can be established as over
consolidated. Although it is normally assumed that settlement will stop after construction
and initial loading has been applied, data suggests that settlement can continue. A
conservative assumption is that the settlement will ultimately reach 1.5 times the
predicted settlement (Si) after 30 years.

5.7 Settlement of Footings Underlain by Clay

The settlement prediction for footings underlain by clay usually ignores immediate
settlement. The magnitudes of primary and secondary consolidation are more important
in clay and organic soil. Primary consolidation occurs when the pore water in saturated
clay is drained (squeezed out) by the superimposed stress increase caused by the footing.
As the material drains, settlement occurs.

The phenomenon of primary consolidation can be illustrated as follows: When a footing

resting above saturated clay is loaded, there is a stress increase in the underlying material
equal to the amount of the increased foundation pressure. Initially, the pore water held in
the voids of the soil between the clay particles supports all of the increased stress. Since
the water is incompressible, the water pressure increases an amount equivalent to the
increased foundation pressure (excess pore water pressure). With time, the pore water
drains from the voids (decreases), thereby transferring the stress from the water to the soil
particles. As the pore water drains, settlement occurs. Primary consolidation is complete
when all of the excess pore water pressure has dissipated and the soil particles in close
contact with one another support all of the pressure.

In order to predict the amount of settlement that will occur in the clay stratum, the
engineer must have knowledge of the past history and engineering properties of the clay.
This is achieved by retrieving an undisturbed sample of the clay and testing it in
laboratory to measure its consolidation characteristics. The results of the laboratory-
testing program are presented on a series of semi-log plots. One of these plots shows the
decrease in void ratio or strain (vertical axis) in relationship to the increased pressure of
load. From this data the engineer obtains important engineering properties of the soil,
which are then used to predict the magnitude of settlement.

The settlement for normally consolidated material can be expressed as:

S = (Cc H/ 1+eo) * log ((σο’ + Δσ)/σο’) (5.2)

Where:

● Cc is the compression index derived from laboratory testing

● H is the thickness of the clay layer under consideration

● σο’ is the effective overburden pressure

● Δσ is the stress increase resulting from the footing

● eo is the soil void ratio obtained from laboratory testing

A slight manipulation of this equation will provide the settlement for an over-
consolidated material.

● Normally consolidated material is material that has not experienced a load greater
than the existing (current) load.
 ● Over-consolidated material is material that has experienced a load in the past
greater than the existing (current) load.

An example of over-consolidated conditions might be illustrated by a 10-foot high hill

that is underlain by clay. If the hill was 20 feet high in the past, then the clay would
already have settled under the weight of the 20-foot high hill. Since over-consolidated
material is stronger than the same normally consolidated material, it is less compressible
up to the point where the applied pressure is equivalent to the maximum past pressure.
Therefore, if an additional 5 feet of fill is placed over the site to a total height of 15 feet,
then the underlying clay would experience very little settlement because it has already
experienced settlement equivalent to the previous 20-foot high fill.

Since manipulations are made to the equations for calculating settlement based on three
possible conditions, the geotechnical engineer must also know the magnitude of the
maximum past pressure, which can be obtained from laboratory test results. With this
information, the geotechnical engineer can now relate the pressure increase in the
underlying compressible soil resulting from the new footing to the existing overburden
pressure and the maximum past pressure of the soil. The three possible conditions are:

● Settlement lies entirely within normally consolidated clay.

● Settlement lies entirely within over-consolidated clay where the new

foundation pressure plus the existing overburden pressure is less than the
maximum past pressure.

● Settlement lies in over-consolidated clay but extend into the normally

consolidated zone where the new foundation pressure plus the existing
overburden pressure is greater than the maximum past pressure

If secondary consolidation is calculated separately, then the results are added to the
predictions for primary consolidation.
Example 5.1

If the footing discussed in Example 4.1 of the previous section was loaded to a pressure
of 3,372 psf (161.45 kPa), is the settlement within tolerable ranges?

From Expression (5.1) with values expressed in SI units,

Si = qB0.7Ic and Ic = 1.71/N1.4

Ic = 1.71 / (12)1.4, Ic = 0.053

Si = (161.45)(1.219)0.7 (0.053) = 9.83 mm ( approx. 3/8-inches)

Thus the allowable bearing pressure is 3,372 psf. At this pressure approximately ⅜-inch
of total settlement is expected, which is less than the 1-inch of total settlement criterion.
This value also lies below the typical ¾-inch criterion for differential settlement.
6.0 LATERAL EARTH PRESSURE

6.1 Introduction

Lateral earth pressure represents pressures that are “to the side” (horizontal) rather than
vertical. The objective of this section is to familiarize primarily the non-geotechnical
engineer such as civil engineers, structural engineers, architects and landscape architects
with simple background theory and considerations.

Calculating lateral earth pressure is necessary in order to design structures such as:

● Retaining Walls

● Bridge Abutments

● Bulkheads

● Temporary Earth Support Systems

● Basement Walls

6.2 Categories of Lateral Earth Pressure

There are three categories of lateral earth pressure and each depends upon the movement
experienced by the vertical wall on which the pressure is acting. In this section, we will
use the word wall to mean the ve rtical plane on which the earth pressure is acting. The
wall could be a basement wall, retaining wall, earth support system such as sheet piling or
soldier pile and lagging, etc.

The three categories are:

● At rest earth pressure

● Active earth pressure

● Passive earth pressure

The at rest pressure develops when the wall experiences no lateral movement. This
typically occurs when the wall is restrained from movement such as a basement wall that
is supported at the bottom by a slab and at the top by a floor framing system prior to
placing soil backfill against the wall.

The active pressure develops when the wall is free to move outward such as a typical
retaining wall and the soil mass stretches sufficiently to mobilize its shear strength. On
the other hand, if the wall moves into the soil, then the soil mass is compressed
sufficiently to mobilize its shear strength and the passive pressure develops. This
situation might occur along the section of wall that is below grade and on the opposite
side of the wall from the higher section. Some engineers use the passive pressure that
develops along this buried face as additional restraint to lateral movement.
 Figure 6.1 - Wall Movement

In order to develop the full active pressure or the full passive pressure, the wall has to
move. If the wall does not move a sufficient amount, then the full pressure will not
develop. If the full active pressure does not develop behind a wall, then the pressure will
be higher than the expected active pressure. Likewise, significant movement is necessary
to mobilize the full passive pressure.

6.6 Other Forces Acting on the Wall

Aside from the earth pressure force acting on the wall, other forces might also act on the
wall. These forces include:

● Surcharge load

● Earthquake load

● Water Pressure

6.7 Surcharge Load

A surcharge load results from forces that are applied along the surface of the backfill
behind the wall. These forces apply an additional lateral force on the back of the wall.
Surcharge pressures result from loads such as a line load, strip load, embankment load,
traffic (such as a parking lot), floor loads and temporary loads such as construction
traffic. Generally, elastic theory is used to determine the lateral pressure due to the
surcharge and these methods have been extensively published.

6.8 Earthquake Force

Additional lateral loads resulting from an earthquake are also superimposed onto the
lateral earth pressure where required.

6.9 Water Pressure

Walls are typically designed to prevent hydrostatic pressure from developing behind the
wall. Therefore the loads applied to most walls will not include water pressure. In cases
where water pressure might develop behind an undrained wall, the additional force
resulting from the water pressure must be superimposed onto the lateral earth pressure.

6.10 Compaction

If heavy rollers are used to compact soil adjacent to walls, then high residual pressures
can develop against the wall. Although a reasonable amount of backfill compaction is
necessary, excess compaction should be avoided.
6.11 Building Codes

Building codes also provide information related to earth pressure and calculating lateral
soil load.

6.12 Important Points

Some important points to consider are:

● There are three categories of earth pressure; each dependant upon magnitude and
direction of wall movement. These categories are: At Rest, Active and Passive.

● In addition to earth pressure, other common superimposed lateral pressures result

from: surcharge, earthquake, and water.

● The total lateral force equals the area of the pressure distribution along the back of
the wall.
7.0 RETAINING WALLS

7.1 Introduction

Retaining walls are structures that support backfill and allow for a change of grade. For
instance, a retaining wall can be used to retain fill along a slope or it can be used to
support a cut into a slope.

Figure 7.1 – Example of Retaining Walls

Retaining wall structures can be gravity type structures, semi-gravity type structures,
cantilever type structures, and counterfort type structures. Walls might be constructed
from materials such as fieldstone, reinforced concrete, gabions, reinforced earth, steel and
timber. Each of these walls must be designed to resist the external forces applied to the
wall from earth pressure, surcharge load, water, earthquake etc.

7.2 Calculating the Total Active Earth Pressure Force

The total lateral force is the area of the pressure diagram acting on the wall surface. The
examples in this section assume drained conditions and a homogeneous granular soil
backfill behind the wall, which results in a simple triangular distribution. Although this
is a common case, the pressure diagram can become more complicated depending upon
actual soil conditions that might have different values.

With the Coulomb method, the active force acts directly on the wall and friction develops
between the soil and wall. With the Rankine method however, wall friction is ignored
and the active force acts directly on a vertical face extending through the heel of the wall.
If the back of the wall were vertical, then the force acts on the wall. On the other hand, if
the back of the wall were sloping, then the force acts on the vertical soil plane as
illustrated in Figure 7.2.
In the example shown later in this section, the area of the earth pressure diagram is the
earth pressure at the bottom of the wall (KaγH) times the height of the wall (H) times
one-half (1/2) since the pressure distribution increases linearly with depth creating a
triangular shape. Thus the total active earth pressure force (Pa) acting along the back of
the wall is the area of the pressure diagram expressed as:

Pa = ½ Ka γ H2 (7.1)

The total force acts along the back of the wall at a height of H/3 from the base of the wall.
So far we have not stated whether this is the Rankine or Coulomb Case. The calculation
for the active earth pressure force (Pa) is the same provided that the appropriate earth
pressure coefficient (Ka) is used. Selecting whether the Rankine method or Coulomb
method will be used is usually a matter of choice or convention.

The example shown in Figure 7.2 relates specifically to a wall supporting a horizontal
backfill. Thus the active earth pressure coefficient (Ka) can be derived directly from
Expression (6.2) or Table 6.1 shown in the previous section. For the case of a sloping
backfill and other wall geometries, the reader should refer to the published references.

This example assumes that a 9-foot high gravity type retaining structure supports soil
backfill having a total unit weight of 125 pcf. Groundwater is well below the structure
and the backfill material is freely draining. The backfill soil has an angle of internal
friction (φ) of 32 degrees and the backfill surface behind the wall is horizontal. Both the
Rankine and Coulomb earth pressure forces are shown.

Note that the location and direction of the active forces follows the assumptions stated
above for the Rankine and Coulomb Theory. Although the back of the wall has an angle
of 80 degrees, the Rankine force acts along a vertical plane beginning at the heel of the
wall while the Coulomb force acts directly along the back of the wall. Since the Rankine
Theory assumes that there is no soil-wall friction, the force (Pa) is parallel to the backfill
surface. On the other hand, since the Coulomb Theory takes the soil-wall friction into
consideration, the force (Pa) acts at an angle of δ from the perpendicular to the wall. This
results in both a vertical and horizontal component of the force (Pa). The Rankine
method will also produce a vertical and horizontal component of the force (Pa) if the
backfill surface has a slope.

In each case, the resultant force Pa acts at a height of H/3 from the base of the wall where
H is the height of the wall for the simple case illustrated herein. If the pressure diagram
were more complicated due to differing soil conditions, for instance, then the location of
the force (Pa) will change. In all cases however, the resultant of the force (Pa) is located
at the centroid of the combined mass area.
 Ka = (1 – sin ()) / (1 + sin ()) = 0.307

Pa = ½ Ka  H2 = (0.5)(0.307)(125)(92)

Pa = 1554.2 pounds

Ka = 0.3545 from Table 6.1 for conditions stated Pa

= ½ Ka  H2 = (0.5)(0.354)(125)(92)

Pa = 1 pounds

Calculate horizontal and vertical components of Pa

where Pa acts 31.3 deg from the horizontal.

Pah = Pa cos (31.3) = 1531.3 pounds

Pav = Pa sin (31.3) = 931.0 pounds

Figure 7.2 - Calculation of Earth Pressure Force for a Homogeneous Cohesionless Backfill

7.3 Other Forces Acting on the Wall

Aside from the earth pressure force acting on wall, other forces might also act on the
wall. Although these forces are not discussed in this course, they might include:

● Surcharge load

● Earthquake load

● Water Pressure

These additional forces would be superimposed onto the earth pressure force to yield the
total lateral force.

7.4 Factors of Safety

Retaining wall design is an iterative process. An initial geometry is assigned to the wall
and the appropriate forces are calculated. The actual forces are then checked using
appropriate factors of safety and the geometry is revised until satisfactory factors of
safety are reached. There are common dimensions that are available that can be used as a
first cut.

7.5 Proportioning Walls

In order to achieve stability, retaining walls are usually proportioned so that the width of
the base (B) is equal to approximately 0.5 to 0.7 times the height of the wall (H). Thus, a
9-foot high wall would have a base approximately 4.5 feet to 6.3 feet wide which
provides a convenient starting point.

7.6 Sliding

A retaining structure has a tendency to move away from the backfill surface because of
the horizontal driving forces resulting from the soil backfill and other forces such as
surcharge. Generally, the wall resists sliding by the frictional resistance developed
between the foundation of the wall and foundation soil.

7.7 Overturning

A retaining structure also has a tendency to rotate outward around the toe of the wall. The
moment resulting from the earth pressure force (as well as other lateral forces such as
surcharge) must be resisted by the moments resulting from the vertical forces produced
by the wall including any vertical component (Pa v) of the earth pressure force. Thus, the
factor of safety with respect to overturning is the resisting moment divided by the
overturning moment as shown in Expression (7.3). A minimum factor of safety of 2 to 3
is desirable to resist overturning.
 FSo = ΣMr / ΣMo (7.3)

Where ΣMr is the sum of the resisting moments around the toe of the wall and ΣMo is the
sum of the overturning moments around the toe of the wall.

7.8 Bearing Capacity below Retaining Walls

As with any structure, the bearing capacity of the soil must be adequate to safely support
the structure. The ultimate bearing capacity of the foundation soil (q u) is calculated using
theoretical bearing capacity methods presented in textbooks and other published
resources.

The resultant of all forces acting along the base of the wall from earth pressure and the
weight of the wall results in a non-uniform pressure below the base of the wall with the
greatest pressure below the toe of the base and the least pressure below the heel of the
base.

7.9 Other Considerations

Before a wall design is complete, the settlement of the wall and the global stability of the
entire mass on which the wall is supported must be checked. Settlement must lie within
tolerable ranges and global stability, such as from slope stability calculations, must be
adequate.

7.10 Important Points

Some important points to consider are:

● The Rankine and Coulomb methods are commonly used to calculate the active
earth pressure force. The discussion in this course is limited to granular
(cohesionless) backfill soil, which is a typical condition relating to retaining
walls.

● The active earth pressure force (Pa) is a function of the earth pressure coefficient
(Ka), the unit weight of the soil and the height of the wall.

● Wall movement must occur in order to develop the full active earth pressure
force.

● Other lateral forces are superimposed on the lateral earth pressure force to derive
the total lateral force.
● Retaining wall design is iterative and seeks to provide wall geometry that
produces suitable factors of safety for sliding, overturning and bearing capacity.

● Retaining walls must also be checked for tolerable settlement and global stability